Regulatory Enforcement


Complinet’s iBriefings provide a summary of current key regulatory topics that are under consideration for fundamental regulatory reform or a significant shift in approach in the aftermath of the recent financial crisis. The series aims to provide a focused update on the main issues, talking points, status quo, trends and potential developments that will impact the compliance teams at financial services firms globally. The commentary will cover the

situations in the EU and North America, and will also include any relevant perspectives from APAC and the Middle East if these are divergent.

Researched and written by Complinet’s in-house team of practitioners, the iBriefings are meant to educate compliance staff, inform business lines and initiate dialogue with senior managers. More than ever, now is the time to establish a culture of compliance throughout the firm. The iBriefing series provides relevant analysis to demonstrate the issues and convey compliance concepts to all levels of management.

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DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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